DoD 5200.1-PH

DoD Guide to Marking Classified Documents

April 1997

Assistant Secretary of Defensefor

Command, Control, Communications and Intelligence

19980325 078

ASSISTANT SECRETARY OF DEFENSE6000 DEFENSE PENTAGON

WASHINGTON, DC 20301-6000

COMMAND, CONTROL.COMMUNICATIONS, AND FOREWORD

INTELLIGENCE

This Pamphlet is reissued under the authority of DoD Directive 5200.1, "InformationSecurity Program," December 13, 1996. It prescribes guidance through examples, onthe markings for classified national security information. It supersedes the 1982,5200.1-PH guide.

The guidance contained is derived from the E.O. 12598, "Classified National SecurityInformation," its implementing instructions, and the marking guide developed by theInformation Security Oversight Office. This pamphlet applies to the Office of theSecretary of Defense (OSD), the Military Departments, the Chairman of the joint Chiefsof Staff, the Defense Agencies, and the DoD Field Activities (hereafter referred tocollectively as "the DoD Components").

Marking classified information serves several purposes in the Department of Defense. It N

alerts holders to the presence of classified information, identifying the exact informationor portion that needs protection; provides guidance for downgrading anddeclassification; gives the reason for the initial classification decision; and warns theholders of any special access, controls, or safeguarding requirements. While we can notanticipate every marking situation, this pamphlet provides the basic ground rules thatapply to all classified information, regardless of the media used. For specific situationalneeds, contact your agency's security officer for guidance.

This Pamphlet is effective immediately for use by all the DoD Components. The Heads

of the DoD Components may issue supplementary instructions when necessary toprovide for unique requirements within their organizations.

Send recommended changes to the Pamphlet to:

Office of the Assistant Secretary of Defense for Command, Control,Communications, and Intelligence

Director, Security Programs6000 Defense Pentagon -. C1:X,- I •C~TF,Washington, DC 20301-6000

The DoD Components may obtain copies of this Pamphlet through their ownPublications channels. Approved for public release; distribution unlimited. Authorizedregistered users may obtain copies of this Publication from the Defense TechnicalInformation Center.

Emmett Paige, Jr.1

Table of Contents

F orew ord ......................................................................................... 1

Table of C ontents .......................................................................... 2

Security R em inders ........................................................................ 3

Section 1 - Marking Originally Classified Documents ................. 4

Portion Markings and Overall Classification Markings 5

"Classified by" and "Reason for Classification" Line. 8

"D eclassify on" Line ................................................... 9

"Exemption Categories" chart ................................... 10

W orking Papers ........................................................ 11

Electronically Transmitted Messages ........................ 12

Section 2 - Marking Derivatively Classified Documents .............. 13

Classifying from "Multiple Sources" ................. 16

Marking from a "Classification Guide" ............... 19

Section 3 - Marking Special Types of Information and Materials. 20

Classification Extensions ......................................... 20

Foreign Government Information ............................ 21

Letters of Transmittal .............................................. 22

Atomic Energy Information ..................................... 24

Classification by "Compilation" ............................... 25

Special Access Programs .......................................... 26

Section 4 - O ther ......................................................................... 29

Automatic Declassification Instructions - 25 yr. rule .. 29

Marking Information "Other Than" Documents ........ 30

R eferences ................................................................................... 34

N otes ........................................................................................ . . 35

2

Security RemindersA. Classification decisions are either original or derived.

B. Only individuals occupying positions specifically authorized in writing may classify

documents originally.

C. Only individuals with the appropriate security clearance, who are required by their

work to generate classified source information, may classify derivatively.

D. There are three levels of classification, "TOP SECRET", "SECRET" and

"CONFIDENTIAL." Do not use other terms, such as "Official Use Only," or"Administratively Confidential," to identify classified national security information.

E. Information shall not be classified for any reason unrelated to the protection of national

security.

F. Classifiers are responsible for assuring that information is appropriately classified andproperly marked. The proper markings include declassification instructions.

G. To have access to classified information, a person must have a security clearance at anappropriate level, a signed SF 312, "Classified Information Nondisclosure Agreement,"

and the "need-to-know."

H. Individuals who believe that information in their possession is inappropriately

classified, or inappropriately unclassified, are expected to bring their concerns to theattention of their security manager or the classifier of the information for resolution.

I. Classified information shall not be discussed or read in public places. It should not be leftunattended, even for a short time in automobiles, hotel rooms, private residences or publiclockers. Only approved security containers are authorized for storage.

J. Classified information shall not be discussed on non-secure telephones. "Talking around"is a dangerous practice and does not provide adequate protection to classified national

security information.

K. Notes, rough drafts, informal working papers, and other preliminary documents must behandled and destroyed as classified information. This is especially important withcomputer generated documents that often go through several revisions. Apply themarkings as the document is being created.

3

SECTION 1 - Marking "Originally Classified" Documents

SECRET L.b.

(OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

date

MEMORANDUM FOR DASD (I&S) L.a.

L.a. SUBJECT: Classification Markings (U)

1. (U) This is an example of a document that contains originally classified information. Standardmarkings are required for all documents as shown here. These markings include:

a. (U) Portion marking(s) for each section of a document to reflect the classification of theinformation. When using subsections such as shown here, individual markings are used. Whensubsections are not marked, the information is protected at the level of protection shown by theoverall section.

b. (U) Overall markings conspicuously using larger font size or bold.

c. (U) A "Classified by" line that includes the name or personal identifier and position of theoriginator.

d. (S) A reason for classification as shown on page 8 of this guide.

e. (U) A "Declassify on" line that indicates the following:

(1) The date or event for declassification not to exceed 10 years.(2) The date that is 10 years from the date of the original decision.(3) An extension beyond the initial 10 years of classification.(4) An authorized and applicable exemption category(ies) as described on page 10 of thisguide.

2. (S) If this paragraph contained "Secret" information, the portion would be marked with thedesignation "S" in parentheses. If the paragraph contained "Confidential" information, the portionwould be marked with the designation "C" in parentheses.

Classified by: Emmett Paige, Jr. .ASD(C3I) L 1d.

Reason: 1.5 (a) and (d) L" . I.e.Declassify on: December 31, XXXX

SECRET

Note: A line followed by a reference number, throughout this pamphlet, cites the paragraph number foundon the same page.

4

Portion Markings and Overall Classification Marking

SECRET 3.

OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

date

MEMORANDUM FOR DASD (I&S)

1. SUBJECT: Portion Markings and Overall Classification Marking (U)-- 1.

1. (U) The first step in marking a document is to identify the classification level of eachportion contained in the document. This includes each paragraph, subjects, and titles. Onlyby identifying the proper classification for each portion can the overall classification level bedetermined.

a. (U) The three sample paragraphs shown here contain "Unclassified," "Secret,"and "Confidential" information, respectively. Portion markings consist of theletters "(U)" for unclassified, "(C)" for "Confidential," "(S)" for "Secret," and"(TS)" for "Top Secret."b. (U) These abbreviations are placed, in parentheses, before the portion, or afterthe title to which they apply.c. (U) Whenever possible, use an unclassified title or subject line. If a classified

1.&2. title and/or subject is necessary, follow it with a short, unclassified title.

2. (S) The second step in classifying a document is determining the overall classificationof the document. The overall classification is determined by the highest classification levelof information contained in the document. In the example shown here, "Secret" is thehighest level of classification. This is paragraph 2. If it were to contain "Secret"information, this portion would be marked with the designation "S" in parentheses.

3. (C) "Conspicuously" place the overall classification at the top and the bottom of thepage. This is paragraph 3. If it were to contain "Confidential" information, this portionwould be marked with the designation "C" in parentheses.

Classified by: Emmett Paige, Jr., ASD(C31)Reason: 1.5 (a) and (d)Declassify on: December 31, XXXX

SECRET

5

Portion Markings and Overall Classification Marking

SECRET--4 UNCLASSIFIED

4. (U) Mark each internal page with the 4. (U) When using overall marking on everyoverall classification, or with the highest page of a document, ensure that extracts of theclassification level of information contained on document are remarked to reflect actualthat page. classification and source description.

5. (S) This is paragraph 5. If it were to contain 5. (U) This is paragraph 5. If it were to"Secret" information, this portion would be contain "Unclassified" information, this portionmarked with the designation "S" in parentheses. would be marked with the designation "U" in

parentheses.

SECRET UNCLASSIFIED

SECRET SECRET

4. (U) This is paragraph 4. It is an (S) level of classification contained on theunclassified paragraph and is therefore marked page. When a classified or unclassifiedwith a "U" as other portions on this page are paragraph is too long and must be carried overclassified. Should this paragraph be used to to another page, the classification MUST becreate another document, the information taken carried forward as well.from this paragraph from this page would remainunclassified. 6. (U) This is paragraph 6. If it were to

contain only "Unclassified" information, this5. (S) This is paragraph 5. Should this portion would be marked with the designationparagraph contain "Secret" information, this "U" in parentheses.portion would be marked with the designation"S" as indicated at the beginning of thisparagraph. The overall classification on thispage is marked "Secret" because this paragraphcontain Secret information, which is the highest

SECRET 9 SECRET 10

6

Portion Markings and Overall Classification Marking

SECRET

SECRETDepartment of Defense If a document contains

more than one page, theSpecial Report "overall classification

ANX-128 (U) marking" will be placedat the top and bottom ofthe front cover (if any),the title page (if any),the first page and onthe outside of the back

CLASS BY:____REASON: cover (if any).DECLASS ON: __

1 September 1996

SECRET

7SECRET W W

I ~SECRET

SECRET

SECRET ,

7

"Classified by" and "Reason for Classification" Line

SECRETOFFICE OF THE SECRETARY OF DEFENSE

WASHINGTON, DC

MEMORANDUM FOR DASD (I&S) 31 August 1996

SUBJECT: "Classified by" Line (U)

1. (S) The third step in properly marking a document is to annotate the originalclassification authority on the document. This is accomplished by placing the originalclassification authority on the "Classified by" line. The "Classified by" line should includethe name or personal identifier of the actual classifier and their position. If the identificationof the originating agency is not apparent on the face of the document, place it below the"Classified by" line.

2. (U) Each original classification decision shall state a reason for classifying.Classification may be applied only to information described in the following categories asspecified in section 1.5 of Executive Order 12958, "Classified National SecurityInformation" are:

a. (U) Military plans, weapons systems or operations.b. (U) Foreign government information.c. (U) Intelligence activities (including special activities), intelligence sources or

methods, or cryptology.d. (U) Foreign relations or foreign activities of the U.S., including confidential sources.e. (U) Scientific, technological, or economic matters relating to the national security.f. (U) U.S. Government programs for safeguarding nuclear materials or facilities.g. (U) Vulnerabilities or capabilities of systems, installations, projects or plans relating

to the national security.

3. (U) The original classifier shall identify a concise reason for classification which, at aminimum cites the applicable classification categories in section 1.5 of E.O. 12958 as thebasis for classification. Original classifiers must ensure that the exemption categoryselected is consistent with the reason for classification cited on the document.

Classified by: Emmett Paige, Jr., ASD(C3I)- 1. 2.&3.Reason: Military Plans; Foreign RelationsOR 3.Reason: 1.5 (a) and (d)Declassify on: December 31, XXXX SECRET

8

"Declassify on" Line

The final essential marking indicates the duration ofclassification. This information is placed on the"Declassify on" line. When determining the durationof classification, choose one of the following threedeclassification instructions: (Whenever possible,select the declassification instruction that will result inthe shortest duration of classification.)

1. Date or EventWhen possible, identify the date or event fordeclassification which corresponds to the lapse of the •.le,information's national security sensitivity. The date or C N'•(C3

event shall not exceed 10 years from the date of the s " 3'* 2

original classification V

ORO

2. Ten Year DurationWhen a specific date or event cannot be determined,identify the date that is 10 years from the date of theoriginal classification

OR

3. Exemptions from the Ten Year RuleIf the information has been determined exempt fromdeclassification at 10 years by the original classifier,place the letter "X" plus a brief recitation of theexemption category(ies) OR the letter "X" plus thecorresponding number to that exemption category(ies)in section 1.6(d) of Executive Order 12958. . ,

• X (dr) etoSSee next page for a list of these exemption categories . a,

9ec

9

Section 1.6(d) "Exemption Categories"Exemption from 10-year Declassification

X1. Reveal an intelligence source, method, or activity, or a

cryptologic system or activity.

X2. Reveal information that would assist in the

development or use of weapons of mass destruction.

X3. Reveal information that would impair the

development or use of technology within a United

States weapons system.

X4. Reveal United States military plans or national

security emergency preparedness plans.

X5. Reveal foreign government information.

X6. Damage relations between the United States and a

foreign government, reveal a confidential source, or

seriously undermine diplomatic activities that are

reasonably expected to be ongoing for a period greater

than 10 years.

X7. Impair the ability of responsible United States

Government officials to protect the President, the

Vice President, and other individuals for whom

protection services, in the interest of national security,

are authorized.

X8. Violate a statute, treaty or international agreement.

10

Working Papers

Working papers are documents and material accumulated or created in the preparation of finisheddocuments and material. Working papers containing classified information shall be:

1. Dated when created.2. Marked with the highest classification of any information contained therein.3. Protected in accordance with the assigned classification.4. Accounted for, controlled, and marked in the manner prescribed for a finished document of the

same classification when retained more than 180 days from date of origin or released by theoriginator outside the activity. This requirement extends to all classification levels.

Information Transmitted Electronically

Information transmitted electronically, and retained as permanent records, must be marked, as wouldany other classified document, with the following special provisions:

1. The first item in the text must be the overall classification of the information.2. For information printed by an automated system, overall and page markings may be applied bythe system, provided they stand out conspicuously from the text. In older systems, this may beachieved by surrounding the markings with asterisks or other symbols.3. Properly completed "Classified by" anf "Reason" lines or "Derived from" line, declassificationinstructions, and downgrading instructions (when appropriate) must be included in the last line.Declassification and downgrading instructions shall not be used for information containingRestricted Data or Formerly Restricted Data.4. The following abbreviations may be used:

"CLASS" for "Classified by""RSN" for Reason (only necessary for originally classified information)"DECL" for "Declassify on""DERV" for "Derived from""DNG" for "Downgrade to"

See example of an electronically transmitted message on the next page.

11

SECURITY CLASSIFICATIONJOINT MESSAGE FORM SECRET

Page DTG RELEASE TIME PRECEDENCE CLASS SPECAT LMF CIC ORIG MSG IDENTDATE TIME MNHYACT INFO

01 of 01 0 ZJUN 96 PP SSSSBOOK MESSAGE HANDLING INSTRUCTIONS

FROM: JCS WASHINGTON DC//J3//

TO: SECDEF WASHINGTON DC

S E C RE T

SUBBJ: PREPARATION OF DD FORM 173, "JOINT MESSAGE FORM" (U)

REF DOD 5200. 1-R

1. (U) THE THREE LEVELS OF CLASSIFICATION ARE DOUELE SPACED WHEN

TYPED ON THE CLASSIFICATION LINE.

2. (S) PORTION MARKING REQUIREMENTS FOR MESSAGES ARE THE SAME AS FOR

OTHER DOCUMENTS.

3. (C) THE "CLASSIFIED BY" OR "DERIVED FPOM" LINE MUST EE INCLUDED

IN THE LAST LINE OF THE MESSAGE.

4. (U) DECLASSIFICATION MARKINGS ARE ABBREVIATED ON THE DD FORM 173

AS FOLLOWS - A SPECIFIC DATE FOR DECLASSIFICATION (I.E. AUGUST 31,

1996), IS SHOWN AS "DECL 31 AUG 96"; A SPECIFIC EVENT FOR

DECLASSIFICATION, (I.E. THE COMPLETION OF AN OPERATION) IS SHOWN AS

"DECL COMPLETION OF OPERATION".

DERV SOG 123, DECL 31 AUG 96

DISTR

DRAFTER TYPED NAME TITLE OFFICE SYMBOL PHONE SPECIAL INSTRUCTIONS

COL J.K. LAUERDH COMPTROLLER 57040 1 JUN 96

w TYPED NAME TITLE OFFICE SYMBOL AND PHONEwu) O.D. SE•E, BG. USAw SIGNATURE SECURITY CLASSIFICATION DATE TIME GROUPW SECRET

12

SECTION 2 - Marking "Derivatively Classified" Documents

SECRET

ABC Battalion Report (U)

Derivatively Classifying From a Source Document and Portion Markings (U)

1. (S) Derivative classification is the act of incorporating, paraphrasing, restating, orgenerating in new form, information that is already classified, and marking the newlydeveloped material consistent with the markings of the source information. The sourceinformation ordinarily consists of a classified document or documents, or a classificationguide issued by an original classification authority. This paragraph contains incorporatedinformation taken from the second paragraph of a source document, a paragraphmarked "Secret." Therefore, this paragraph is marked with an "S." This, "derivative"document contains no other classified information. Therefore, portion mark all otherportions with a "U."

2. (U) When using a classified source document as the basis for derivative classification,the markings on the source document determine the markings to be applied to the derivativedocument.

(a) (U) As with documents created by original classifiers, each derivative documentmust have portion markings and overall classification markings.

(b) (U) The "Classified by" line is replaced with a "Derived from" line. The "Reason"line, as reflected in the source document(s) or classification guide, is not required to betransferred to the derivative document. Examples are on pages 14 and 15 of this guide.

o. i . ................ *................ . .

SECRET1 September, 1996

Special Report--ANX-128 (U)

1. (U) This is paragraph 1 which contains"Unclassified" information. This portion willtherefore be marked with the designation "U" inparentheses.

2. (S) This is paragraph 2 which contains"Secret" information. This portion willtherefore be marked with the designation "S" inparentheses. SECRETClassified by: Emmett Paige, Jr.

ASD(C31)[Reason: 1.5 (a) and (d)

Declassify on: December 31, 2000

sECRET 13o............................................

Portion Markings and Overall Classification Marking of a Derivative Document

SECRET

SECRET

ABC Battalion If a "derivative"

document contains moreSpecial Report (U) than one page, the

"overall classification

marking" will be placedat the top and bottom ofthe front cover (if any),the title page (if any), '

Derived from: DoD SCG #128 the tit page any),Declassify on: 31 December 2000 the first page and on the

outside of the back1 November 1996 cover (if any).

SECRET

SECRET SoWW

,I •1 ~SECRETs~RT.••• • ,,:

SECRET Wo

September 1, 1996(Date of origin) SECRET

Subject: DoD SCG#128 (U)

Classified by: Emmett Paige, Jr.ASD(C31)

2 Reason: 1.5(a) & (d)o Declassify on: 31 December, 2000

14

"Derived from" and "Declassify on" Line

SECRET

7OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DASD (I&S) 26 June 1996

SUBJECT: "Derived from" and "Declassify on" Line (U)

1. (U) Identify the source used as the basis for classification on the "Derived from" line ofthe derivative document

2. (S) The "Declassify on" line of the source document is carried forward to the"Declassify on" line of the derivative document. This is paragraph 2. If it were to contain"Secret" information, this portion would be marked with the designation "S" in parentheses.

3. (U) When the "Declassify on" line of the source document is marked "OriginatingAgency's Determination Required" or "OADR", mark the "Declassify on" line of thederivative document to indicate:

a. (S) The fact that the source document is marked "OADR."b. (U) The date of origin of the source document.

4. (U) This marking will permit future determination when classified information becomes25 years old. If the information is determined to be of permanent historic value, provisionsof the automatic declassification program (section 3.4 of E.O. 12958) apply.

Source Document

June 25, 1994

Derived from: ASD(C31) Memorandum 3. (Date of origin)

Subj: Classification Markings (U) MatinMarkings (U)

Declassify on: Source document marked "OADR"'•Date of source 6/25/94

Classified by: ASD(C31)Declassify on: OADR*

SECRET

Note: "OADR" is not an approved marking for documents originally classified under E. 0. 12958.

15

Derivatively Classifying From Multiple SourcesPortion Marking

When using more than one classified source document in creating a derivative document, portion markthe classified information incorporated in the derivative document with the classification level indicatedon the source documents. In the example shown, paragraph one of the derivative document incorporates"Secret" information from paragraph one of Source 1 and paragraph two of the derivative documentincorporates "Confidential" information from paragraph one of Source 2. The remainder of thederivative document is "Unclassified".

(S)

-(S)

6 00_J0 (U)

Overall Classification Marking

The derivative document will be conspicuously marked at the top and bottom with the highestclassification level of information found in any portion of the document. The overall classificationshown here is "Secret." If the derivative document contains more than one page, each page will bemarked with an overall marking. (Refer to page 6for review.)

SECRET SECRET --a

CONFIDENTIAL(C) (C)

, (U)

SECRET

SCONFIDENTIAL

16

"Derived from" Line

Enter "Multiple Sources" on the "Derived from" line of the derivative document to indicate that morethan one classified source was used.

(C)

(S)(S)

(C)

- Classified by: SECDEFCI) Declassify on: OADR 0 (U)

• Classified by: ASD(C31)Reason: 1.5(d)

Z• Declassify on: X6 *. Derived from: Multiple SourcesSDeclassify on: -..........

Source document Marked "Multiple Sources"

A source document that is itself marked "Multiple Sources" presents a special problem inidentifying that document on the "Derived from" line of the new document. The "MultipleSources" notation will not be carried forward to the new document as the actual sources ofclassification could not be traced. Instead, identify the source document by originator, date andsubject on the "Derived from" line of the derivative document.

SECRET SECRETOFFICE OF THE SECRETARY OF DEFENSE W DEFENSE INVESTIGATIVE SERVICE

WASHINGTON, DC

MEMORANDUM FOR DASD (I&S) July 25,1995

SUBJECT: Security Awareness of ClassificationMarkings (U) (S)

1. (S) This is paragraph 1 which contains"Secret" information This portion will therefore bemarked with the designation "S" in parentheses.

2. (U) This is paragraph 2 which contains"Unclassified" information. This portion willtherefore be marked with the designation "U" inparentheses.

Derived from: ASD(C31) Memo; Subject:ASD(C3I) Security Awareness of Classified

Markings (U)

Classified by: Multiple Sources Declassify on: Source marked OADRDeclassify on: OADR dated July 25, 1995

SECRET SECRETDerivative Document used as a Source Derivative DocumentDocumentPrior to E.O. 12958, all documents carried a"Classified by:" line. 17

Identification of all classified sources Official File Copy

Maintain the identification of allclassified sources with the file orrecord copy of the derivativedocument. If practicable, include thelist with all copies of the derivative Derived from: Multiple Sources

document. Source 1: ASD(C31) Memo dtd

Oct 15, 95; Subj:Declassify on: X-6

Source 2: SECDEF Memo dtdJuly 1, 94; Subj: -

Declassify on: OADR

"Declassify on" Line

Prior to marking the Derivative document with the "Declassify on" Line, determine which source documentrequires the longest period of classification. Once that has been determined, the derivative documentshould reflect the longest period of classification as indicated here.(To review declassification instructions, classification duration and/or exemptions, seepages 9 and 10)

SECRET SECRETQ OFFICE OF THE SECRETARY OF DEFENSE

WASHINGTON, DC

Oct. 15, 1995 (S)

MEMORANDUM FOR DASD (I&S)

SUBJECT: Security Awareness of ClassificationMarkings (U) Jul 1, 1994 (S)

(S) This is paragraph contains "Secret"information This portion will therefore be markedwith the designation "S" in parentheses.

Classified by: Emmett Paige, Jr., ASD(C3l)Reason: 1.5(a) Declassify on: X-6Declassify on: X6

SECRET SECRET

Source 1 Derivative: Since both documentsClassified by: SECDEF have indefinite declassificationDeclassify on: OADR hv neiiedcasfcto

SECRET instructions, use the declassificationinstructions with the longest period

Source 2 of classification.

18

Derivatively Classifying froma Classification Guide

A classification guide is a document issued byan original classification authority thatprovides derivative classification instructions. Department of DefenseIt describes the elements of information thatmust be protected, and the level and duration Security Classificationof classification Guide - 128 (U)

Department of DefenseSecurity Classification

-• Guide

WJ Subject Classification InstructionsLevel Reason Duration 1 November 1995

1. Program Planning U2. Program Progress U3. Technical Scope C 1.5(a) 4/15/05

• 4. Vulnerability Sx-3S 5. Limitations

Portion Markings

Paragraph 1 of this derivative document CONFIDENTIALcontains information that paragraph 3 Title (U)of the classification guide specifies shallbe classified "Confidential." Followingthe guidelines of the Classification (C) This paragraph includes information

Guide, the first paragraph has been about technical scope.

marked with a "C." All other portions (U) This paragraph includes information on

are unclassified, as indicated in the program planning

Classification Guide, and are markedappropriately with a "U." (U) This paragraph includes information on

program progress.

Overall Classification Marking

Conspicuously mark the overallclassification at the top and bottom of •_ Derived from:: Scty Class Guide #128

Dated: 11/1/95the derivative document. As shown .. Declassify on: April 15, 2005

here, the highest classification level is"Confidential."CONFIDENTIAL

19

SECTION 3 - Marking Special Types of Information and Material

Classification Extensions

SECRET

NOFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DASD (I&S) 26 August 1996

SUBJECT: Classification Extensions (U)

1. (U) An original classification authority may extend the duration of classificationfor successive periods not to exceed ten years at a time. For information contained inrecords determined to be permanently valuable, multiple extensions shall not exceed25 years from the date of the information's origin.

2. (S) Revise the "Declassify on" line to include the new declassificationinstructions, and the identity of the person authorizing the extension and the date ofthe action.

3. (U) Reasonable attempts should be made to notify all holders of a classificationextension.

Classified by: Emmett Paige, Jr.ASD(C3a ) Classification extended onReasn: 15 (a and(d)Dec. 1, XXXX until Dec. 1, 2010

Declassify on:December 31, XXXX Dc 1, X X un , 2010by William S. Cohen, SECDEF

SECRET

20

Foreign Government Information

SECRET

OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DEPSECDEF 27 March 1996

SUBJECT: Foreign Government Information (U)

1. (U) The U.S. Government affords protection to information provided by foreigngovernments. Care must be taken to identify the source of the information.

2. (FGI-C) Mark the portions that contain the foreign government information toindicate the country of origin and the classification level. Substitute the words"Foreign Government Information" or "FGI" where the identity of the specificgovernment must be concealed. The identify of the concealed foreign source in thisexample must be maintained with the record copy and adequately protected.

3. (UK-S) This paragraph contains information marked "Secret" by the governmentof United Kingdom. The "Derived From" citation should cite the title of thedocument provided. Declassification date, event, or exemption category is carriedforward, if known.

Derived from: FGI Source Document orIdentify Foreign GovernmentSource Document dated

Declassify on: X5, FGI

When the identity of the country must be concealed, substitute"Foreign Government Information (FGI)" for the name of thespecific country and note the country in the record copy of thedocument.

SECRET

Include the following statement at the bottom of documents containing classifted foreigngovernment information: "This document contains (country of origin) Information."Routine correspondence, such as this memorandum, does not require this statement.

21

Letters of Transmittal

SECRET

OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DASD (I&S) August 27, 1996

SUBJECT: Letters of Transmittal

1. Information in transmittal letters are marked on the basis of content. Frequently,unclassified transmittal letters have classified attachments. The overall marking on thetransmittal letter must reflect the highest classification of its attachments.

2. Conspicuously mark an unclassified transmittal document with the highestclassification level of any information transmitted by it. Also mark the transmittaldocument with an appropriate instruction indicating that it is unclassified whenseparated from classified enclosures, as shown here.

Joseph SmithOASD(C3I)

Attachments -ý 1.

1. Secret C31 memorandum, dated subj: __

2. Memo dated

Unclassified when separated from classified enclosures

SECRET 2.

22

Letters of Transmittal

SECRET

OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DEPSECDEF August 31, 1996

SUBJECT: Letter of Transmittal With Classified Information (U)

1. (U) If the transmittal document itself contains classified information, mark it asrequired for all other classified information, except:

a. (U) Conspicuously mark the top and bottom of the transmittal documentwith the highest classification level of any information contained in thetransmittal document or its enclosures;

b. (C) Mark the transmittal document with an appropriate instructionindicating its overall classification level when separated from its enclosuresas shown in this example.

2. (U) The derived from line reflects the decision applied to the transmittal letter. Page23 of the Security Classification Guide-123 requires the paragraph above to beConfidential.

3. (U) In this example, the Attachment is classified SECRET. Therefore, the overallclassification of this particular transmittal letter is marked "SECRET".

Emmett Paige, Jr.ASD(C31)

AttachmentSecret memo dtd __ subj __

Derived from: SCG-123 - 3.Declassify on: December 31, XXXX

Downgrade to Confidential when separated from Secret enclosure - 1.

SECRET

23

Atomic Energy Information

SECRETRestricted Data

OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DEPSECDEF August 31, 1996

SUBJECT: Atomic Energy Act of 1954 (U)

1. (S-RD) Documents containing "Restricted Data" or "FormerlyRestricted Data" as defined by the Atomic Energy Act of 1954,should have abbreviated markings ("RD" or "FRD") included with Warning Notices:the classification marking (S-RD).

RESTRICTED DA TA.a. (S-FRD) This paragraph contains "Secret" Formerly Restricted This document contains

Data only. RD markings will not be applied. RESTRICTED DATA asdefined in the Atomic

b. (S-RD)(N) Critical Nuclear Weapon Design Information Energy Act of 1954.(CNWDI) shall be marked with an "N" in separate parentheses Unauthorized disclosurefollowing the portion marking. subject to administrative

and criminal sanctions.3. (U) Special warning notices are applied to RD, FRD, andCNWDI. If a document combines both as depicted here, only the RDwarning notice is affixed. No declassification instructions are used. FORMERLY

RESTRICTED DATA.Joseph Smith Unauthorized disclosure

Attachment OASD(C3I) subject to administrativeand criminal sanctions.

Derived from: DoE CG-W5 Warning notice Handle as RESTRICTED(identify the classifier) Restricted Data DATA in foreign

SECRET dissemination; Section144b, Atomic Energy Actof 1954.

CNWDICritical Nuclear WeaponDesign Information-DoDDirective 5210.2 applies.

E.O. 12958 does not apply to "Restricted Data" or "Formerly Restricted Data." This example shows how to integrateRestricted Data and Formerly Restricted Data into a DoD-generated document. The Department of Defense does not originateRD or FRD; therefore, all documents should reflect "derived from:" byline. In this example, we are citing a Joint DoD andDoE classification guide published by the Department of Energy. For additional guidance, see your security officer.

24

Classification by Compilation

CONFIDENTIAL

OFFICE OF THE SECRETARY OF DEFENSEWASHINGTON, DC

MEMORANDUM FOR DASD (I&S) August 31, 1996

SUBJECT: Classification By Compilation (U)

1. (U) When a document consisting of individually unclassified items of information isclassified by compilation, the overall classification shall be marked conspicuously at thetop and bottom of each page and the outside of the front and back covers (if any). Anexplanation of the basis for classification by compilation shall be placed on the face of thedocument or included in the text.

2. (U) If portions, standing alone, are unclassified, but the document is classified bycompilation or association, mark the portions "U" and the document and pages with theclassification of the compilation. You must also add an explanation of the classificationor the circumstances involved with association.

3. (U) If individual portions are classified at one level, but the compilation is a higherclassification, mark each portion with its own classification, and mark the document andpages with the classification of the compilation. An explanation of the classification bycompilation is required.

Emmett Paige, Jr.ASD(C31)

Attachment2.

Derived from: CONOP #123. The compilation of unclassifiedtraining schedules reveals the impending initialoperational capability (IOC) of this usit. CONOP#123 requires that unit IOC be classifiedCONFIDENTIAL.

Declassify on: Completion of OperationOR

Classified by: ASD(C31) 2.Reason: Compilation of unclassified Training schedules for

specific contingency plan is CONFIDENTIALSect. 1.5(a).

Declassify on: August 31, 2001CONFIDENTIAL

25

Special Access Programs

1. "Special Access Programs" (SAPs) are established IAW Chapter 8, DoD 5200.1 -R, "InformationSecurity Program Regulation." SAPs are created only when absolutely necessary to protect theNation's most sensitive and critical information or when required by statues. Establishment shall beconsistent with law, policy, and regulations, and be based on a determination that the threat and/orvulnerability (e.g. sensitivity or value of the information) warrants enhanced protection.

2. Any DoD program or activity employing enhanced security measures exceeding those normallyrequired for information at the same classification level shall be established, approved, and managedas a DoD SAP. Examples of such enhanced security measures include the following:

a. use of any special terminology, including code words, other than an unclassifiednickname, to identify or control information dissemination;b. personnel security investigative or adjudicative requirements more stringent than thoserequired for a comparable level of classified information;c. specialized non-disclosure agreements;d. exclusion of a classified contract (use of carve-out); ore. a central billet system to control the number of personnel authorized access.

3. All DoD programs which operate under the above enhanced procedures are considered to beSAPs, including (i) Programs managed under special delegation authorities previously approved bythe Secretary of Defense or Deputy Secretary of Defense; (ii) Programs sponsored by otherdepartments or agencies, but for which DoD participants manage internal DoD security controls(e.g. DoD-managed subcompartments of larger, non-DoD SAPs; (iii) and Programs conducted insupport of, or in cooperation with, other departments, agencies, branches of government, or othergovernments. SAPs may only be approved by the Secretary of Defense or Deputy Secretary ofDefense.

4. All marking provisions previously described in this guide apply to SAPs. Additional markingsinclude: (i) the use of special distribution notices such as "Special Access Required" (SAR); and/or(ii) an assigned program nickname(s) or code word(s)

5. To differentiate a nickname from a code word, remember that:

a. A nickname is a combination of two unassociated and unclassified words.b. Nicknames are normally typed in ALL CAPS.c. A code word is a single word assigned a classified meaning by appropriate authority.d. The code word is classified Confidential or higher.e. All nicknames and code words are issued through the DoD Components (usually SAPchannels) and strictly controlled.

6. The unclassified examples on the following two pages, depict common markings for SAPdocuments. The examples are for ILLUSTRATIVE USE ONLY. The format for markings shouldbe adjusted to accommodate software applications and production efficiency. For instance, theexamples show the overall classification and nickname/code word in the header and the overallclassification and special access requirement in the footer.

26

SAP "NICKNAMES"SAPs use nicknames for control of dissemination and "need-to-know." Nicknames are assigned to theprogram when the SAP is approved. Nicknames are designated by two unassociated words, which areunclassified by themselves (i.e. TWISTED FEATHER).

TOP SECRET/TWISTED FEATHER (U)

OFFICE OF THE UNDER SECRETARY OF DEFENSE FORPOLICY

June 25, 1996

Paragraph markings inSAP documents should MEMORANDUM FOR SPECIAL ACCESS PROGRAM CENTRAL OFFICES

contain the highest SUBJECT: Identification and Marking of Classified Documents (U)

classification within theparagraph, and be 1. (U) This paragraph contains "Unclassified" information.followed by the SAPdigraph. 1 t 2. (C) This paragraph contains non-SAP national security information.

d a 3. (TS/TF) This paragraph contains TOP SECRET information related to thespecial access program TWISTED FEATHER (U). Portion markings are thesame as previously described in this marking guide. The exception is the additionof the nickname digraph following the TS designation.

Richard F. Williams, CPPDirector, Special Programs

ODUSD(P)Policy SupportClassified by: USD(P)Reason: 1.5 (a) and (d)

Highest classification Declassify on: December 31, 2000

and program nicknameare conspicuouslyplaced at the topand bottom. 2

TOP SECRET/SPECIAL ACCESS REQUIRED

1 A SAP digraph or trigraph is a 2 or 3 letter designator given to each SAP. In this example, "TF"shown here represents the nickname "TWISTED FEATHER".

2 A nickname, code word, trigraph, and/or digraph may be substituted for the term "SPECIAL

ACCESS" Channels. Refer to the SAP Security Procedure Guide for instructions.

27

SAP Documents

SAP "CODE WORD"

In addition to nicknames, SAPs also use code words for control of dissemination and a "need-to-know".Code words, like nicknames, are assigned to the program when the SAP is approved. A code word is asingle word with a classified meaning

- TOP SECRET/CODE WORD (S)

OFFICE OF THE UNDER SECRETARY OF DEFENSE FOR POLICY

Paragraph markings inSAP documents should MEMORANDUM FOR SPECIAL ACCESS PROGRAM CENTRAL OFFICEScontain the highestclassification within SUBJECT: Identification and Marking of Classified Documents (U)

the paragraph, and befollowed by the SAP 1. (U) This is paragraph 1, which contains "Unclassified" information.digraph

2. (TS/CW) This paragraph reflects Top Secret information controlled in the CODEWORD classified program.

Richard F. Williams, CPPDirector, Special ProgramsODUSD(P)Policy Support

Highest classificationDerived from: CODE WORD SCG, dtd

and program code Declassify on: December 31, 2000

word areconspicuouslyplaced at the topand bottom TOP SECRET/SPECIAL ACCESS REQUIRED

28

Section 4 - "Other"

Automatic Declassification - The 25-year rule

1. The automatic declassification provision (Section 3.4) of E.O. 12958, requires declassification ofinformation in permanently valuable historical records (as defined by Title 44, U.S. Code) 25 yearsfrom the date of original classification, whether or not the records have been reviewed. Subsequently,all classified information in such records shall be automatically declassified no later than 25 years fromthe date of its original classification, with the certain exceptions outlined in the E.O.

2. Only the Secretary of Defense and the Secretaries of the Military Departments may exemptinformation from this automatic declassification, and only under certain circumstances. Informationexempted from automatic declassification at 25 years remains subject to the mandatory and systematicdeclassification review provisions.

3. If the record is exempt from 25 year declassification, the following markings are used:

a. Site the exemption categories for number or phrase on the "Declass" line

Example: 25X25X, Human Sources

b. List a date for "Declass" review

Example: 25X_Review 4/15/10

4. Classified information, contained in records that are more than 25 years old, and which have beendetermined not to have permanent historical value, and are scheduled for disposition in agreement withthe National Archives and Records Administration (NARA), is not subject to automaticdeclassification. Agency retention and destruction requirements apply.

5. Consult your security officer or records manager for additional information.

29

Marking Information "Other Than" Documents

Charts, maps, equipment, drawings and photographsInformation must be marked with the highest level of classification regardless of what form thatinformation may take. The next few pages show examples of marking situations to guide you. Theprinciples are the same. Portion marking, overall marking, classification byline and declassificationinstruction. The legend, title and scale blocks in the following examples are treated as portions of thedocument. Ensure that the overall classification of the product shows when the item is folded or rolled.

SECRET SECRET

Full Scale (U)

SECRET or

50 - SECRET

40-

30

SECRET

10

10 20 30 40 (U) Maps may have the portion marking insideor outside the map area. Mark to eliminatedoubt as to what the classification of the

Figure 2: (S) Charts may have the portion marking portion may be.inside or outside the chart area. Mark to eliminatedoubt as to what the classification of the portionmay be.

SECRET SECRET

If these pages are part of a classified document, mark as indicated above. When charts and maps aresingle page documents, include the required associated markings (i.e. Title, Origination Date,"Classified by" line, "Declassify on" line, Name and address of Originating Agency, OverallClassification, and Portion Markings).

30

Hardware and Equipment

Hardware, software, computers, and equipment must have the requiredmarkings applied.

SECRET - PROGRAM NICKNAME

S ECRET PROGRAM N ICKNAME

B ii

Standard Form labels are

also available-see page 33.

__(Hardware or Equipment Tag)

SECRET- PROGRAM NICKNAME SECRET-PROGRAM NICKNAME

QTitle: Derived From:

* Date Originated: Declassify on:* Name and Address of Document Control Number:

0 Originating Agency: (if required)

Q *** o* o SECRET-PROGRAM NICKNAME

31

Continuous Form (Fan Folded or Rolled) Documents

Continuous form/fanfold documents are uniquedocuments requiring specialized marking.

The required1. Apply the overall classification at the top emarings must

and bottom of the first and back pages. appear on the title or2. Apply the required markings on the face front page

page (either the first page or front cover).3. Apply markings by either computer

software, stamps, or other methods.4. For production efficiency, the overall

classification of interior pages may be theoverall document classification.

5. Portion markings of individual lines is notrequired.

6. If separated, title pages must be applied toeach document created as a result ofbreaking continuous form.

Safeguard Statement:

(This optional statement is often applied tothese products on the first page)

"HANDLE AS (enter the appropriateclassification level) INFORMATION UNTILREVIEWED BY THE ORIGINATOR ORCLASSIFICATION MANAGER."

Note: The requester of the product determinesthe actual classification after receipt and maychange the classification after review andbefore storing or taking other accountabilityactions.

Transparencies, Vu-Graphs, and Slides

Title: Name and AddressDate of Orig: of Facility of Origin:

SSECRET

Overall classification, special

control notices, and otherrequired security markings mustbe shown on the image area and

also on the border, frame orholder.

SECRET

Derived from:Declassify on: EC T

32

Computer Media

Basic document markings apply to all media.

Computer disc must reflect the highest level of classificationcontained on the disc. Standard labels should be used for all levelsof classification.

"SF706 - Top SecretSF707 - SecretSF708 - ConfidentialSF709 - ClassifiedSF710 - UnclassifiedSF711 - Data DescriptorSF712 - Classified SCI

No standard form (SF) and/or label(s) exist for Compact Discs(CDs). The SF labels prescribed for removable storage media maybe used for the marking of classified CDs and their cases.Classification must be conspicuously marked on the CD case andthe CD itself.

Slides must have markings on the slide cover andon the actual image so when the slide isdisplayed on screen, the classification is clearlyidentified. Applicable associated markingsshould be applied to the lead slide.

33

References

1. Executive Order 12958, "Classified National Security Information," April 17, 19952. Office of Management and Budget Implementing Directive to E.O. 12958, October

13, 1995

3. DoD Directive 5200.1, "DoD Information Security Program," December 13, 1996

4. DoD 5200. l-R, "Information Security Program Regulation," January 17, 19975. DoD Directive 0-5205.7, "Special Access Program (SAP) Policy," January 4, 19896. Director of Central Intelligence Directive 1/7, "Security Controls on the Dissemination

of Intelligence Information," April 16, 1996

7. Director of Central Intelligence Directive 5/6, "Intelligence Disclosure Policy," draft.

8. DoD Directive 5210.2, "Access to and Dissemination of Restricted Data," January 12,1978

This guide does not include instructions for the marking of sensitive and/or controlled,unclassified information. Refer to DoD 5200.1 -R (Appendix C) for additionalinformation.

34

Notes:

Security Manager:Telephone:

35